13F-HR filed by D.A. DAVIDSON & CO.
D.A. DAVIDSON & CO. filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-01-29, with 1,090 holding rows worth $5,128,748,000.
- Accession
- 0001080107-19-000001
- Filer
- CIK 1080107
- Filed
- 2019-01-29
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A holdings report, 1,090 entries on the cover page, a total value of $5,128,748,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $5,128,748,000 with VALUE read as thousands by filing date, 13F file number 028-07602. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| RITHM CAPITAL CORP COM NEW | 64828T201 | REIT | 12,950 | $184,000 | thousands by filing date | |
| INVESCO ACTVELY MNGD ETC FD | 46090F100 | OPTIMUM YIELD | 12,168 | $183,000 | thousands by filing date | |
| PIMCO INCOME STRATEGY FD II | 72201J104 | COM | 19,134 | $182,000 | thousands by filing date | |
| ENSCO PLC | G3157S106 | SHS CLASS A | 51,050 | $182,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 16,354 | $174,000 | thousands by filing date | |
| REDHILL BIOPHARMA LTD | 757468103 | ADR | 31,000 | $172,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 17,302 | $167,000 | thousands by filing date | |
| GOLDCORP INC NEW | 380956409 | COM | 16,950 | $166,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 11,853 | $164,000 | thousands by filing date | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 16,915 | $157,000 | thousands by filing date | |
| CNH INDL N V SHS | N20944109 | Stock | 16,863 | $155,000 | thousands by filing date | |
| ADIENT PLC | G0084W101 | ORD SHS | 10,306 | $155,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 45,000 | $154,000 | thousands by filing date | |
| DAVIS FUNDAMENTAL ETF TR | 23908L405 | CMN | 10,000 | $151,000 | thousands by filing date | |
| TEMPLETON EMERGING MKTS INCO | 880192109 | COM | 15,559 | $150,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 11,668 | $146,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 28,882 | $146,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 147,000 | $145,000 | thousands by filing date | principal |
| VISTAGEN THERAPEUTICS INC | 92840H202 | COM | 94,000 | $141,000 | thousands by filing date | |
| CONDOR HOSPITALITY TR INC | 20676Y403 | COM NEW | 20,533 | $141,000 | thousands by filing date | |
| SELECT INCOME REIT | 81618T100 | COM SH BEN INT | 18,095 | $133,000 | thousands by filing date | |
| FINISAR CORP | 31787AAP6 | NOTE 0.500%12/1 | 140,000 | $133,000 | thousands by filing date | principal |
| BANK OF COMMERCE HOLDINGS | 06424J103 | COMMON STOCK NPV | 12,052 | $132,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 10,391 | $130,000 | thousands by filing date | |
| VEREIT INC | 92339V100 | COM | 17,468 | $125,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 120,000 | $121,000 | thousands by filing date | principal |
| PENNYMAC CORP | 70932AAB9 | NOTE 5.375% 5/0 | 120,000 | $119,000 | thousands by filing date | principal |
| II VI INC | 902104AB4 | NOTE 0.250% 9/0 | 120,000 | $117,000 | thousands by filing date | principal |
| ELEMENTS ROGERS INTL CMDTY AGRI TR ETN | 870297603 | ETF | 20,519 | $115,000 | thousands by filing date | |
| TUTOR PERINI CORP | 901109AD0 | NOTE 2.875% 6/1 | 125,000 | $115,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 100,000 | $114,000 | thousands by filing date | principal |
| CALAMOS STRATEGIC TOTAL RETU | 128125101 | COM SH BEN INT | 10,690 | $113,000 | thousands by filing date | |
| NEM | 06739FJQ5 | 0.00% 10/30/2023 | 110,000 | $113,000 | thousands by filing date | principal |
| AGNT INC | 30212W100 | COM | 15,775 | $112,000 | thousands by filing date | |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 120,000 | $112,000 | thousands by filing date | principal |
| BARCLAYS BANK PLC 0 09/26/2023 | 06741J7V5 | Corp Bond | 110,000 | $112,000 | thousands by filing date | principal |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 120,000 | $111,000 | thousands by filing date | principal |
| ON SEMICONDUCTOR CORP | 682189AK1 | NOTE 1.000%12/0 | 100,000 | $110,000 | thousands by filing date | principal |
| REDWOOD TRUST INC | 758075AC9 | BOND | 120,000 | $110,000 | thousands by filing date | principal |
| PORTFOLIO RECOVERY ASSOCS IN | 73640QAB1 | NOTE 3.000% 8/0 | 120,000 | $110,000 | thousands by filing date | principal |
| ACELRX PHARMACEUTICALS INC | 00444T100 | COM | 47,000 | $109,000 | thousands by filing date | |
| HANNON ARMSTRONG SUST INFR C | 41068XAB6 | NOTE 4.125% 9/0 | 120,000 | $109,000 | thousands by filing date | principal |
| NEW YORK COMMUNITY BANCORP | 649445103 | COM | 11,303 | $106,000 | thousands by filing date | |
| PDC ENERGY INC | 69327RAD3 | NOTE 1.125% 9/1 | 120,000 | $106,000 | thousands by filing date | principal |
| Community West Bancshares | 204157101 | Common Stock | 10,477 | $105,000 | thousands by filing date | |
| SYNAPTICS INC | 87157DAD1 | NOTE 0.500% 6/1 | 120,000 | $105,000 | thousands by filing date | principal |
| CALAMP CORP | 128126AB5 | NOTE 1.625% 5/1 | 110,000 | $105,000 | thousands by filing date | principal |
| VIKING THERAPEUTICS INC | 92686J106 | COM | 13,655 | $104,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 11,300 | $102,000 | thousands by filing date | |
| LUMENTUM HLDGS INC | 55024UAB5 | NOTE 0.250% 3/1 | 100,000 | $100,000 | thousands by filing date | principal |
| GRANITE PT MTG TR INC | 38741LAC1 | NOTE 6.375%10/0 | 100,000 | $98,000 | thousands by filing date | principal |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 100,000 | $97,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAM4 | NOTE 5.875% 1/1 | 97,000 | $97,000 | thousands by filing date | principal |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 100,000 | $95,000 | thousands by filing date | principal |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 100,000 | $95,000 | thousands by filing date | principal |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 27,691 | $94,000 | thousands by filing date | |
| WESTERN ASSET MORTGAGE CAPIT | 95790DAA3 | NOTE 6.750%10/0 | 100,000 | $92,000 | thousands by filing date | principal |
| NOVAVAX INC | 670002104 | COMMON STOCK | 49,150 | $90,000 | thousands by filing date | |
| NEUBERGER BERMAN MLP AND ENERG | 64129H104 | COM | 13,200 | $88,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872302 | COMMON STOCK | 13,080 | $87,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 14,486 | $86,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 12,150 | $82,000 | thousands by filing date | |
| SNAP INC | 83304A106 | CL A | 13,970 | $77,000 | thousands by filing date | |
| Yatra Online Incorporated Ord SHS | G98338109 | Common Stock | 18,650 | $75,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 10,000 | $72,000 | thousands by filing date | |
| FORTERRA INC | 34960W106 | COM | 19,000 | $71,000 | thousands by filing date | |
| GROUPON INC | 399473107 | COMMON STOCK | 21,931 | $70,000 | thousands by filing date | |
| ABERDEEN ASIA-PACIFIC INCOME F | 003009107 | COM | 17,583 | $68,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 10,012 | $66,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 10,550 | $65,000 | thousands by filing date | |
| ADAPTIMMUNE THERAPEUTICS PLC | 00653A107 | SPONDS ADR | 11,199 | $64,000 | thousands by filing date | |
| DUFF & PHELPS SLT ENGY AND M | 26433F108 | COM | 16,000 | $63,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 12,206 | $57,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 26,398 | $57,000 | thousands by filing date | |
| NABORS INDUSTRIES LTD | G6359F103 | SHS | 25,119 | $50,000 | thousands by filing date | |
| ASHFORD HOSPITALITY | 044103109 | COMMON STOCK | 12,500 | $50,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 50,000 | $49,000 | thousands by filing date | principal |
| GUIDEWIRE SOFTWARE INC | 40171VAA8 | BOND | 50,000 | $48,000 | thousands by filing date | principal |
| YAMANA GOLD INC | 98462Y100 | COM | 19,518 | $46,000 | thousands by filing date | |
| SM ENERGY CO | 78454LAM2 | NOTE 1.500% 7/0 | 50,000 | $46,000 | thousands by filing date | principal |
| ONCOSEC MED INC | 68234L207 | COM NEW | 57,500 | $37,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 20,000 | $34,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 14,189 | $33,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 30,000 | $29,000 | thousands by filing date | principal |
| ACTINIUM PHARMACEUTICALS INC | 00507W107 | COM | 73,000 | $28,000 | thousands by filing date | |
| ARES CAP CORP | 04010LAM5 | NOTE 4.375% 1/1 | 25,000 | $25,000 | thousands by filing date | principal |
| AETHLON MED INC | 00808Y208 | AETHLON MED INC | 10,587 | $18,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 15,000 | $15,000 | thousands by filing date | principal |
| FANG HOLDING-ADR | 30711Y102 | ADR | 10,137 | $14,000 | thousands by filing date | |
| ADVAXIS INC | 007624208 | COM NEW | 14,000 | $3,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001080107-19-000001 | this filing | 2019-01-29 | acceptance time not in the bulk data set |